In this course, we will cover-:
- How does the SFC initiate an investigation?
- Investigation on suspected misconduct in relation to listed corporations.
- Investigation on suspected offenses and other misconduct under the SFO
- Investigation on suspected offenses under the AMLO
- Types of Interviews like Voluntary interview Statutory interview & Cautioned interview.
- Do’s & Don’ts in the investigation.
Solicitor, CPA, ACA, BFP, MHKSI, ACG, HKACG, CIA, CFSA, CGAP, CRMA,
CFE, CAMS, LLB (1st Hon), LLM (CFL) (Distinction), MAcc (Cambridge)
Donald Lai is a Multilingual (English, Cantonese, Mandarin, and Japanese) legal and compliance professional with 15+ years of experience in the public and private sectors of the financial services industry. He has a solid understanding of securities laws and regulations with multiple professional qualifications in accounting and finance, law, AML, fraud examination, and corporate governance.